Compliance Manager (Part Time)

Compliance Professionals; London; On-site; GBP 40,000 - 80,000; Part time

Job summary

An established industry player is seeking a part-time Compliance Manager to enhance their compliance framework. This role involves overseeing adherence to FCA and SEC regulations, developing compliance policies, and conducting risk assessments. The ideal candidate will have a strong knowledge of compliance in both jurisdictions and a proactive approach to regulatory changes. Join a dynamic team where your expertise will contribute significantly to maintaining high compliance standards and fostering a culture of ethical conduct. If you are self-motivated and detail-oriented, this opportunity is perfect for you.

Qualifications

• Strong knowledge of FCA and SEC regulations is essential.
• Experience managing compliance for firms in both jurisdictions.

Responsibilities

• Oversee compliance framework and ensure adherence to regulations.
• Conduct compliance monitoring and risk assessments regularly.

Skills

FCA Regulations

SEC Regulations

Compliance Monitoring

Risk Assessment

Regulatory Reporting

Effective Communication

Attention to Detail

Education

Strong Academic Record

Tools

Steeleye

Job description

THE COMPANY: Our client is a specialist boutique UK hedge fund, seeking a part time Compliance Manager (to work 3 days a week). The ideal candidate will have SEC exposure. THE RESPONSIBILITIES:

• Oversee and manage the firm's compliance framework, ensuring adherence to FCA regulations, SEC regulations, and other relevant financial regulations
• Develop, implement, and maintain compliance policies and procedures in line with industry best practices for both jurisdictions
• Keep up to date with regulatory developments in both the UK and US, assessing their impact on the firm and implementing necessary changes
• Conduct regular compliance monitoring and risk assessments to identify and mitigate potential risks
• Provide support across a variety of compliance initiatives, including Code of Ethics, cybersecurity, electronic communication surveillance, vendor due diligence, and updating and testing compliance procedures
• Operate the core Compliance program daily, including Personal Account Dealing ('PAD'), Outside Business Interests ('OBI'}, Conflicts of Interest ('COi'), Gifts and Entertainment('G&E')
• Monitor the operations team's daily compliance processes, particularly short and long disclosures
• Maintain compliance records and registers and prepare reports for senior management.
• Manage periodic and ad hoc US regulatory reporting/filings with the SEC, CFTC/NFA, and other international regulatory bodies, in conjunction with other business areas
• Assist with legal document reviews and contract negotiations
• Provide compliance training and guidance to staff, ensuring awareness and understanding of regulatory obligations

EXPERIENCE REQUIRED:

• Strong knowledge of FCA and SEC regulations, with experience managing compliance for firms operating in both jurisdictions
• Experience with Steeleye would be beneficial
• Trustworthy, loyal, humble and honest. A self-motivated, go-getter
• Strong self-motivated work ethic willing to take ownership of work product
• Strong attention to detail with demonstrated ability to deliver on a timely basis and be highly responsive
• Effective communicator with track record of problem solving with limited direction
• Emotional maturity and professionalism
• Strong academic record

For further information please contact Spencer Evans